Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ is a leading Investor Services group providing comprehensive administration and compliance services for the investment sector. The Associate role focuses on delivering regulatory compliance support to investment adviser clients, ensuring adherence to securities laws and enhancing compliance programs through collaboration with industry experts.

Responsibilities

• You'll monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940
• You'll draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials
• You'll analyze clients’ trading practices and personal securities transactions to identify potential compliance issues
• You'll investigate compliance violations, document findings, and ensure corrective actions align with client policies
• You'll support regulatory exams and perform quarterly forensic testing and employee training compliance reviews

Skills

• You hold a bachelor's degree
• You bring strong analytical, technical, and software skills, especially in Excel and Word
• You communicate clearly and effectively, both in writing and speech, with a sharp eye for detail
• You demonstrate sound judgment, discretion, and problem-solving abilities in high-stakes client matters
• You thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs
• You build and maintain strong working relationships with colleagues and clients through professionalism and collaboration

Benefits

• Generous paid time off, including 4 weeks of PTO that increases over time
• Sick time and paid holidays
• 401(k) plan with a company match (subject to eligibility)
• Medical, dental, vision, mental health support and additional ancillary insurance plans
• Paid parental leave
• Hybrid work schedule

Company Overview